John H. Romfh
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
John Howard Romfh was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1983. John had worked at 4 firms and has passed the Series 63, Series 7, Series 22, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 20, 1990 - February 18, 1993
KEOGLER, MORGAN & COMPANY, INC.
January 5, 1989 - April 20, 1990
GUARDIAN INVESTOR SERVICES LLC
March 6, 1985 - January 14, 1989
FSC SECURITIES CORPORATION
May 18, 1983 - March 11, 1985
CARDELL & ASSOCIATES, INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
KEOGLER, MORGAN & COMPANY, INC.
CRD#: 16546 / SEC#: , 8-34056
Contact information
Documents
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
